Sponsored by Mark J. Astarita, Esq.
Mutual Funds For Dummies, 6th edition
The Fund Industry: How Your Money is Managed (Wiley Finance)
Mutual Fund Featured Articles
Introduction to the Federal Securities Laws -an introduction to the laws which govern the purchase and sale of securities in the United States, including the Securities Act of 1933 and the Securities Exchange Act of 1934
Introduction to the Blue Sky Laws (State Securities Laws) – each state has its own securities laws, rules and regulations. This article provides an overview to the function and purpose of those state laws, known as “blue sky laws.” Introduction to Private Placements – hedge funds, and private equity funds, take in investors’ money by way of a private placement. Such offerings are exempt from the registration process for offering securities for sale; provided the rules are followed. A description of the exemption, and the private placement process.
Mutual Fund Blog Posts
Mutual Fund News
Amazon.com makes it easy to order books online, and we have compiled what we believe to be the most useful books for the brokerage legal and compliance officer in the Compliance and Law Department at the SECLaw.com Bookstore.
Past Articles and Commentary
Every month The Securities Law Home Page brings together commentary and updates from securities law practitioners and regulators. Past articles are collected here in chronological order, or simply search for the topic you are interested in.